Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joshua Ryan Moorman | 6344818 | 4 | 12/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Owen J Nickle | 7070381 | 1 | 12/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Andre Morgan | 1033818 | 3 | 12/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ann Novy | 7060164 | 6 | 12/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramez Robbie Khzam | 6286085 | 7 | 12/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcia Zecca Lisboa | 7489897 | 4 | 12/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Monks | 7011729 | 1 | 12/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan Eininger | 5800509 | 1 | 11/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Winifred Wikkeling | 2908330 | 3 | 11/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Crystal Deshotels Bergeron | 7291593 | 4 | 11/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |